Associate General Counsel

Edelman Financial Services
Fairfax, VA
Apr 20, 2017
Apr 26, 2017
Accountant, IT
Full Time
Edelman Financial Services,one of the nation's largest and most well-known financial planning firms, is seeking a skilledAssociate General Counsel for our Fairfax, VA location. This role will work closely with the General Counsel and fellow team members in providing legal advice to the key decision-makers in the organization. The Associate General Counsel will also help advise on any number of legal issues important to the Company including: providing counsel on SEC and FINRA rules and regulations (including the Investment Advisers Act of 1940) applicable to registered investment advisors and broker-dealers, state insurance regulations, litigation and arbitration matters, regulatory inquiries and examinations (SEC/FINRA), contracts, corporate governance and employment matters. ResponsibilitiesDraft, review and negotiate various contracts and agreements including employment agreements and a wide array of third-party vendor agreements.Provide legal research support and manage significant legal assignments from the General Counsel.Ensure that the Company is well represented in the resolution of customer disputes through arbitration and/or litigation, as appropriate.Conduct pre-litigation research and draft legal documents.Assist with managing regulatory inquiries and examinations by the SEC and FINRA.Advise on marketing materials for investment management products, account documentation issues, financial product disclosure issues and prohibited transaction issues.Assist the Company in ensuring its broker-dealer and registered investment advisory business is conducted in compliance with applicable SEC, FINRA and federal and state rules and regulations.Provide solution-oriented, business centric legal counsel to senior management, constructively helping to achieve business purposes within legal and ethical means while executing the Company's business strategy.Collaborate with internal compliance staff to provide high-caliber, cost-effective service and training to business units and corporate personnel.Keep pace with the demands of a rapidly changing business by proactively anticipating legal issues, identifying appropriate solutions and providing the leadership necessary to effectively implement these across the firm.Assist the General Counsel and other stakeholders with any internal investigations regarding possible violations of the Company's policies and procedures.Review and draft various internal policies and procedures.RequirementsJuris Doctorate from an accredited law schoolAdmitted and in good standing to practice in a US state barMinimum 3-5 years of experience practicing law at a law firm or in a registered investment advisor or broker-dealer environmentIntermediate to advanced proficiency with MS ExcelInnovative problem solverTeam player (willing to jump in at any point to get a project done)Strong project management skills and top analytical skillsStrong verbal and written communication skillsExcellent interpersonal skills, as necessary to work effectively with staff at all levelsMust be comfortable independently evaluating a situation, exercising judgment, and independently making a decision.The individual identifies and resolves problems in a timely manner and gathers and analyzes information skillfully.Position requires high level of responsibility regarding confidential information; must maintain confidentiality at all times.For more information: EOE. A comprehensive background check may be conducted on applicants for this position. Edelman Financial Services has an employment at-will policy.

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